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Design

and

Methodology

for

the

Survey

of

Somalia

Fishing

Communities

Concerning

IUU

Fishing

June,

2014

Brian

Crawford,

CRC/URI

Richard

Pollnac,

URI

Kifle

Hagos,

TACS

Prepared

by:

TRANS

‐

AFRICA

CONSULTANCY

SERVICES

LLC

104 Roffee

Street,

Barrington

RI

02806

Phone:

+1

401

289 0113;

E

‐

Mail:

khagos_8793@hotmail.com

For:

ADESO

African

Development

Solutions

P.O.

Box

70331

‐

00400

Nairobi,

Kenya

M:

+(254)

710

607

378 T:

+(254)

20

800 0881

info@adesoafrica.org

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Table

of

1. Introduction

The project focus is on understanding the dimensions of illegal, unreported and unregulated (IUU) fisheries activities taking place in Somalia’s EEZ. As per the agreement between Adeso and TransAfrica Consultancy Services, and described in Milestone 1 of the agreement, the survey is designed to, “analyze the fundamental types of illegal fishing and identification of the key factors that foster illegal fishing” in Somalia. In addition, the survey is designed to help assess “ecosystem and livelihood impacts

and evidence concerning illegal fishing.” authority or regional organization, in contravention of applicable laws and regulations.

 Unregulated fishing generally refers to fishing by vessels without nationality, or vessels flying the flag of a country not party to the regional organization governing that fishing area or species.

Additionally, the survey framework draws from the socio‐economic theory of regulatory compliance as described by Sutinen and Kuperan2 (see Figure 1 below). These key factors, or lack thereof, foster illegal fishing. Lastly, the survey also includes a number of additional questions and topics based on

discussions with Adeso staff and other key informants in Nairobi. There are a number of general questions about perceptions of changes in the fishery, general development issues, and related environmental issues such as waste dumping at sea. Several questions are also aimed at linkages interviews and more extensive individual survey questionnaires.

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Figure 1. Determinants of Compliance

SOURCE: Sutinen and Kuperan 1999.

To determine the presence of illegal fishing is somewhat difficult as individuals are often reluctant to talk about illegal activities or admit to such behaviors themselves. Hence, fishermen will not be asked if they are directly involved in illegal fishing, but survey questions are designed to ask about who does it, where does it take place and what types of illegal activities are undertaken. It will also be necessary to determine types of “illegal” fishing as perceived by the fishermen. They may use different terms to refer to local (possibly clan), national & international restrictions on fishing activity. It is also important to note that these terms may not be the same across the areas where the project will collect data, so the survey forms may need to be adapted to reflect these differences. To determine what local terms or concepts are used to refer to a fishing behavior that could be translated as “illegal”, it will be necessary to use a question format such as, are there any restrictions concerning: 1) quantity, 2) where, 3) when, or 4) how you harvest fish?

Defining illegal fishing activities may also be problematic in Somalia as some persons have questioned whether their claim over fisheries jurisdiction out to 200NM was done properly and may be

questionable under international law. However, since Somalia is a signatory to the UN Convention on Law of the Sea, we will assume for the purposes of this work that Somalia has a valid and legal claim to exercise exclusive use rights to the fisheries with a 200NM EEZ. This is a generally accepted practice and acknowledged by most coastal states. Within this zone, Somalia can and should regulate fishing

activities by Somali fishers, and if they so choose, denial or granting of access rights by foreign flagged fishing vessels and an associated regulatory regime for management. There may be further ambiguity in Somalia as to what different autonomous regional authorities may view as their legal right to manage fisheries within the 200NM zone compared to the views of the internationally recognized central government. Recent meetings between the central government and regional authorities may have resolved this to some extent, and it is our understanding that foreign fishing licensing in the future will be controlled at the federal level. Key informant interviews, especially at the federal and regional level,

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legal issues which are beyond the scope of this study. However, the study will examine what various fisheries stakeholder perceptions are as to what is considered “legal”, including whether any traditional use rights are asserted by clans or local leaders. rapid assessment methods including visual walk through of the community and semi‐structured conversations with key informants. The information to be collected includes the following:

1‐What: What types of fishery resources are exploited by people in the community? unreported and unregulated fisheries. Local leaders via key informant interviews can also be queried concerning the above information when general contextual information is required. Prior to and during

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Pollnac. R.B. 1998. Rapid Assessment of Management Parameters for Coral Reefs. Coastal Resources Center,

University of Rhode Island. Coastal Management Report #2205 ICLARM Contribution #1445.

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the survey pre‐test, and especially in the first few villages surveyed, a glossary of fishing terms needs to be developed. This will include a list of boat types, gear types and fish types with their local names and English equivalents (see Annex in this report on “Glossary of Boat Types, Fishing. Gear Types and Fish Names. While most of the general information on fishing outlined above can be obtained on the beach and community walk‐through, key informants can provide supplemental information to fill in gaps with what was observed.

In addition to the information to be collected above, there are additional guide questions in the Annex of this report entitled “Guidelines for Key Informant Interviews”. This section has a specific list of types of key informants to be interviewed at the national and regional level (a separate consultant will

conduct those interviews) and another list for local and community leaders. That Annex also has a list of additional and more detailed types of questions to help guide the semi‐structured interviews on topics about management and governance, illegal fishing, licensing and reporting, enforcement, waste dumping and fish kills.

The above outline of information and guideline questions serve as a guide to assembling a very brief and summative overview of this information for each village surveyed. The Field Supervisor will write up the findings of the key informant interviews in a summary brief of not more than 4‐5 pages per village. The outline of the summary brief can follow these topical areas:

 General description of the community

 General description of the fishery in the community (who what when where how)  Governance and management jurisdictional framework

 Regulations and management efforts  Licensing and reporting

 Illegal fishing issues

 Surveillance and enforcement

 Other general Issues and topics of interest

4. The

Individual

Survey

Questionnaire

4.1 Sampling Frame and Methodology for the Individual Survey Questionnaire

The survey design should take a representative sample of fish landing sites from each of the

administrative regions of the country. This will not be a random sample but a purposeful sample that ensures all regions are covered and that there are both landings sites with artisanal and commercial fleets so that individuals from both fleets are included in the surveys. At each landing site, a systematic sampling design will be used where every third or fifth house is selected depending on the size of the community. The head of household will be interviewed. The target is to interview approximately 30‐40 individuals per community with a target of 10 communities/landing sites sampled. The preliminary list of communities/landing sites from which the 10 landing sites will be selected is provided in Table 1 below. The survey plan calls for the Field Supervisor to conduct key informant interviews, and for 7‐8 field enumerators to conduct individual interviews with each enumerator’s target of completing

between 5‐7 surveys per village. The plan assumes two days in each village/landing site to carry out the entire set of activities including courtesy call on local officials, key informant interviews, administering the survey instrument and a community meeting.

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Table 1: Illegal Fishing Candidate Sampling Sites in Somalia

Site selection name Administrated area Operational center

Kismanyo Jubbaland Kismanyo

Madhawo Jubbaland Kismanyo

Buurgabo Jubbaland Kismanyo

Kanboni Jubbaland Kismanyo

Marka Lower Shabeele Marka

Muqdisho Banadir Muqdisho

Cadale Middle Shabeele Muqdisho

Xarardheere Hiiran Muqdisho

Hobyo Galmudug/Xibin and Xeeb Galkacayo

Garacad Puntland Galkacayo

Eyl Puntland Garowe

Bender Bayla Puntland Bosaaso

Xafuun Puntland Bosaaso

Caluula Puntland Bosaaso

Qandala Puntland Bosaaso

Lasqoray Puntland Bosaaso

Xiis & Maydh Somaliland Berbera

Berbera Somaliland Berbera

Lughaya Somaliland Borama

Saylac Somaliland Borama

(The above mentioned sites were provided by Abdi Mohammed Dahir in May, 2014. Sites highlighted in BOLD and Italics were a second refinement of recommendations provided by Abdi Mohammed Dahir in a June 2, 2014 email.)

4.2 Translation of the Questionnaire

Prior to administering the questionnaire in the field, the English questionnaire will need to be translated into the Somali language before it is administered. Ideally, once the questionnaire is translated by one individual, it should be back‐translated into English by another translator. The back‐translated English version should be compared with the original and where they differ the translators should discuss and decide on the best revised final translation.

4.3 Pre‐testing the Questionnaire

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enumerators should then test interview one to two individuals and fill out the questionnaire form. This can be incorporated into their training and orientation activities (see section below). Then, all the field enumerators should regroup with the Field Supervisor and discuss whether any problems occurred with any of the questions. During this field test, the Field Supervisor should also observe quietly the field enumerators and also gauge for themselves whether they see any problems in how the questions are phrased and understood by the respondents. Field Supervisor observation of the field enumerators is also important to gauge whether they are asking the questions properly, not a phrasing or translation issue, but different potential issues (see below). To ensure that the survey instrument is administered properly and consistently, enumerators should not have to reinterpret the question or paraphrase the question for the respondent. The question should be asked in the identical way for each respondent. management/regulatory terminology. A useful exercise for this orientation would be a walking and talking tour of a fish landing site with the Field Supervisor / Fisheries Expert. The orientation should also

 Explaining grounds for terminating contract employment

 Roles of the field enumerators in administering the survey instrument, assistance with coding data into an Excel database, and assistance in conducting a community meeting after the individual surveys and key informant interviews are completed.

Next, the actual survey methodology needs to be explained including:

 Rapid assessment techniques including a walk‐through of the community, interviewing key informants

 Sampling strategy and procedure for selecting survey respondents

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 The basic introduction with the respondent, greetings, explaining general purpose of the wrong responses) and being courteous but efficient

 Checking the form for completeness prior to proceeding to the next household

Next, field enumerators should each practice and role play administering the questionnaire on each other. One enumerator plays the role of respondent and the other administers the survey instrument.

 General feedback by the field supervisor on ways the enumerators introduced themselves, requested informed consent, asked questions, and their general deportment and courtesy shown to respondents. Feedback should be specific and constructive.

 General questions by the enumerators and discussion on the process.

At this time the field supervisor needs to determine whether the survey instrument is ready for actual implementation or whether any adjustments are needed. If adjustments are needed, immediate consultation with the TACS consultants will be required.

4.5 Administering the Survey Instrument

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have been completed and there is no missing data. The fiscal officer will also act as the data entry clerk respondent must also give informed consent. Informed consent requires that they understand the general objective of the survey, that all responses will be kept confidential and no responses from any behaviors are observed that threatens sample bias from any individual field enumerator, and feedback does not result in changes, then the field enumerator’s employment should be immediately terminated. Terminated field staff should be given pay up until the time they are terminated and travel expense funds to return to their home.

4.7 Quality Control and Assurance Check with TACS

Since this survey procedure is a bit unusual as the TACS consultants will not directly participate in the training of the field enumerators, the pre‐test of the survey instrument, or the initial implementation in the first community surveyed, special procedures will be needed to reasonably assure quality control and assurance that the survey design is appropriate and administered correctly. In this case the following special procedures will be followed:

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problems or issues with data coding or interviewer bias as well as to get feedback from the Field Supervisor regarding any general issues in conducting the field work.

5. Community

Meeting

and/or

Focus

Group

Discussions

The study design calls for a community meeting to be held in each village/landing site sampled. If possible, this meeting should be arranged in advance and conducted on the first day of the survey team arrival in the community. If it cannot be arranged in advance, then the Field supervisor will need to ask the local officials if a meeting can be organized later that evening or at some point the following day. This should be at a time convenient to the community and not be scheduled for longer than one hour. The agenda for the meeting will include:

 Basic introductions of who the team is, purpose of the visit , and describe what they will do in the village over the two day visit ‐ key informant interviews and individual surveys

 General discussion with the people attending the meeting about the fishing activities in the community, development challenges, and then on IUU fishing.

In such a meeting, the exact number of people meeting may not be fully known and could be just a small group of less than 10 persons where the meeting would be more of a focus group discussion. However, the general plan is that this is a larger community meeting where anyone interested can attend. If a larger community meeting cannot be organized given timing constraints, it is suggested that two focus group sessions with between 7‐8 participants each be planned and the Field Team divide into two groups to run these sessions. It is not necessary for all member of the team to participate in the focus group sessions as some will need to be working on data coding into an Excel spread sheet or continuing to conduct individual interviews. At least two members of the field team will be needed for each focus group session. One member of the team should be designated to facilitate the focus group meeting and one to only listen, take discussion notes, and prepare a summary write up of approximately 1‐2 pages.

It is suggested that one focus group include fishermen and processors and marketers. It is assumed that this will likely be an all‐male group and should not include any local officials, clan or community leaders to ensure participants are comfortable to speak freely. It is suggested that the second focus group be an all women group drawn from fishing households. These focus group sessions should be planned for the second day in the community after key informant interviews and surveys have been administered. Those processes could help to identify potential participants in the focus group meetings. The basic agenda for the focus group sessions is similar to the community meeting described above.

ANNEXES

The annexes below contain forms and guidelines on a glossary of local fishing terminology, guidelines for interviewing key informants, the survey instrument and data coding book.

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ANNEX 1: Glossary of Boat Types, Fishing Gear Types and Fish Names

The following tables should be completed and developed at the early phases of the field work and can be compiled during the pre‐testing of the survey instrument and from key informants in fishing communities where surveys will take place, and from direct observation and conversations with fishermen at the landing sites. These tables should be completed early on in the field work and serve as a guide to for field enumerators who may not be familiar with fishing terminology. This information is also important for some of the coding of the survey instruments for specific questions about vessel types, gear types and fish types

Boat type (see survey question # 3 for coding)

Local Names English Name

Small‐scale / Artisanal fishing vessels

Volvo Fiberglas with inboard engine

Fiberglass skiffs with outboard

Canoe/un‐motorized wooden boat

Dhow Dhow motorized

Dhow non‐motorized

Trawler decked and wooden hull sambuk Wooden boat with inboard engine

houri Wooden boat with outboard

Large‐scale Commercial / Industrial vessels

Steel hull trawler

Steel hull Purse seiner

Steel hull long liner

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Gear type (see survey question # 3 for coding)

Factory/industrial trawl

Factory/industrial purse seines Fish Aggregating Devices (FAD)

Tuna long line

Tuna drift gill net

Medium scale shrimp trawl

Medium scale encircling nets

Small scale drift gill nets

Bottom set gill nets

Lobster traps

Reef fish traps

Bottom long line

Hand lines

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Fish Names (see survey question # 11 for coding)

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ANNEX 2: Guidelines for Key Informant Interviews

I trodu tio

It is recommended that key informant interviews be conducted at several scales, from national to community level. These interviews are semi‐structured discussions using a number of guiding questions as provided below. Not all the questions have to be asked precisely as stated below but are provided to help guide the interviewer through the process. The emphasis of questions will vary as well as some are more relevant for private sector companies, some more relevant to enforcement authorities and others more relevant to the fisheries agency. The interviewer should use their own judgment of where the emphasis of each specific interview should be. In such interviews, the interviewer may decide to pursue different avenues of content and explore issues that may seem relevant but not anticipated in the guiding questions below. The number of key informants at each scale or site can vary and will be dependent on time budgeted for the interviews and availability of interviewees. Several persons should be interviewed and typically it does not need to include more than between five or ten informants altogether. At some point it will be noted that the amount of additional information gathered from each new informant becomes less and less. At this point the interviewer needs to decide whether they have sufficient information relative to the time budgeted for these interviews and have been sufficiently able to triangulate information among key informants, and then stop additional interviews.

Triangulation refers to a process where information among different informants is checked and determined whether each informant validates what others have said, increasing validity of the information, or if there are different stories that suggest the information may be questionable and therefore should not be weighted highly. Such anomalies should be noted in the final report summary

A snowball technique can be used to find additional key informants from those initially identified and interviewed. In this approach, the interviewer asks the interviewee if there are other persons she/he would recommend the interviewer talk to that may have useful information and interest on the topic at hand. The interviewee can then also be asked to provide contact details for the subsequent key

informants/interviewees or even make an introductory phone call.

The interviewer should take notes during the interview process, but for reporting, it is not necessary to have separate documentation on every interview, but rather, a summary on the topic and/or place based on information provided by all the key informants. The report should be from five, but not more than 10 pages long.

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Natio al a d Regio al Le el

Targeted Key I for a ts

 National Ministry or Regional Authority responsible for fisheries –senior officials at the Minister, deputy Minister or Director level, including mid‐level managerial staff or Directors of the key units or divisions within the Ministry such as:

o Licensing Division

o Fisheries Management Division

o Statistics Division

o Enforcement Division

 Enforcement authorities with responsibility for fisheries (Navy, Marine Police, Coast Guard)  Manager s or owners of commercial/industrial fishing companies in the area

 Managers or owners of large scale fish export processing plants

 Heads of national/regional association of fishers, vessel owners or processor associations  National or Regional Fisheries Management or Advisory Council members , if any

 Representatives from donor agencies and NGOs working in Somalia or the various administrative regions, and in coastal communities, or on fisheries or piracy issues

Guide Questio s/Topi s

General

 Brief national/regional overview of the fisheries sector – type and size of the industrial and artisanal fleets, fish type and value of all landings, main exports versus locally consumed, number employed in each sector, indirect employment, % GDP

 Somali maritime jurisdiction and EEZ/fisheries claims and issues

 What are the main fisheries laws and regulations in effect with respect to vessel licensing, data reporting, traceability of product, resource management

 General status of the stocks – over‐fished, fully exploited, under‐fished  Artisanal or industrial Fisher or processing associations?

 Fisheries management advisory or management councils?

 Most recent national/regional fisheries act and regulations (get copy if available)  A national/regional development strategy or policy on fisheries (get copy if available)

 Policies or interest in establishing co‐management institutions, providing use rights regimes?

 Views on decentralization of authority and maritime jurisdiction to regional government for fisheries management and enforcement?

 Annual report on national/regional fisheries statistics? (get copy if available)  Main issues for development and sustainable management of the fisheries?  Ongoing related donor assistance or development projects?

 Regional and international cooperation, coordination, agreements and fisheries organizations (SWIOF, IOTC, etc.)?

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Licensing and Reporting

 Who is required to obtain licenses for fishing, industrial and artisanal? local and foreign?  Who issues the licenses?

 What reporting of fish landings is required by licensed vessels?

 Are industrial vessels required to have on‐board observers (foreign and Somali?)

 Does the Ministry/Regional Authority have monitors collecting landings data at industrial and artisanal landing sites?

 What data do they collect?

 Does fish landed by industrial fleet require traceability standards? Surveillance and Enforcement

 Who is responsible for enforcement of fishing laws at national, regional, local level?  What enforcement assets are there at‐sea and in ports?

 VMS required on industrial vessels?

 How is coordination among Fisheries, Navy, Police and Prosecutors office handled?

 How frequently are industrial vessels sanctioned – Number of cases in last year, Number of arrests, % successfully prosecuted?

 Are there local citizen surveillance groups? Illegal fishing

 Extent done by Somali fishers versus foreign fishers?

 Who are the foreign culprits, what stocks are they after and where do they send the product?  Causes of the problem?

 Transshipment at sea an issue?

 Lack of traceability requirements an issue?

 Any pressures from overseas buyers regarding traceability and sustainability certifications?  Linkages to piracy and anti‐piracy campaigns?

 What is being done and should be done to combat the problem?

 Do foreign vessels have to pay for or hire local on‐board security against pirates?  Are they ever extorted or held hostage by pirates?

 To what extent are fishermen harassed by pirates? Vessel or engines ever expropriated?

 If piracy is on the decline, what are they now doing for employment? Fishing? Is that where most came from originally – draw from ranks of fishermen?

 Heard any reports of fishermen migrating away from fishing as stocks are too badly exploited?  Heard any reports of in‐land migrants moving to coast to fish during drought periods?

Other

 Issues with toxic dumping of wastes in Somali waters by foreign entities?

 Concerns about habitat destruction (e.g. mangroves being cut for charcoal production and exported to GCC states/ by‐catch and discard issues/ sea turtle entanglement/ Reef degradation from trawlers)

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Mu i ipal/Lo al Go er e t a d Co u ity Le el

Targeted Key I for a ts

 Mayor and Municipal staff responsible for fisheries

 Local Dept. of fisheries officer, fisheries field extension agent, and fisheries data collector at a landing site

 Local enforcement authorizes – police, local fisheries agency enforcement officer

 Village headman, Chief or Clan leader, and other informal community leader whose opinions are respected by other members of the community

 Elderly fishermen (formal or informal leader) respected by their peers in the fishing community  Person in the community that owns a large number of fishing vessels

 Respected fish marketer/businessman or processor

 Respected women leader (formal or informal) from a fishing household  Head of the village Environment Committee

 Head of any fishermen’s association or management group

Guide Questio s

General

See general questions that provide an overview of the fishing sector in the community in the section above entitled “Rapid assessment and key informants.” The governance, management and enforcement aspects of the fishery and other specific questions of concern identified.

Jurisdiction: What political entities have jurisdiction over the fishing area and/or fish types? National agency only, Regional Autonomous Authority, Local government, Clan or other traditional or formal management group? For instance:

 Are there any local fishermen associations in your area and if so, what do they do?  Are there any fisheries management committees in your areas?

 Do other local committees such as the village environmental committees handle fisheries issues? Do they have any mandate to regulate local fisheries, mediate conflicts among fishers, help keep landing sites clean?

Regulations and Management efforts: Types of restriction on fishing should be determined.

Types (e.g., what, how, who, impact?) This would involve a description of the existing management system (if one exists). The key questions, in brief, are:

‐What (e.g., what species, what activity, etc.),

‐How (e.g., protected areas; regulation of resource exploitation)

‐Who (central authority, co‐management, community management, etc.)

o Any local ordinances related to fisheries management?

o Are you aware of co‐management approaches to fisheries or concepts of providing exclusive

use rights to fishermen groups?

o Do traditional groups or clans play any role in fisheries or in establishing rules for fishing?

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Use rights:

o Types (open, common, group exclusive, private)

o Boundary distinctness (how is boundary defined? E.g., reef area, natural features (within a bay, along village beach, etc.), km from shore, etc.)

o Transferability (can rights be sold, loaned, given away?)

o Surveillance & enforcement (e.g., how do those with jurisdiction or use rights monitor users [e.g., post guards, patrol the area by boat, deploy spirits] and how do they punish violators [e.g., fines, jail terms, social or physical banishment, supernatural sanctions])

Licensing and Reporting

o Are local boats registered or licensed by the municipality?

o Are there any local taxes or landing fees required to be paid by fishermen?

o Are local fish landings data collected or reported to anyone? If yes, What data do they collect?

Illegal fishing

o How often do you see foreign fishing boats fishing close to your shoreline?

o Extent done by Somali fishers versus foreign fishers?

o Who are the foreign culprits, what stocks are they after and where do they send the

product?

o Causes of the problem?

o Linkages to piracy and anti‐piracy campaigns?

o What is being done and should be done to combat the problem?

o Do foreign fishing vessels have to pay for or hire local on‐board security against pirates?

o Are they ever extorted or held hostage by pirates?

o To what extent are fishermen harassed by pirates? Vessel or engines ever expropriated?

o If piracy is on the decline, what are they now doing for employment? Fishing? Is that where most came from originally – draw from ranks of fishermen?

o Heard any reports of fishermen migrating away from fishing as fishing stocks are too badly exploited? If yes, where do they go and what do they do?

o Heard any reports of in‐land migrants moving to the coast to fish during drought periods?

‐Surveillance and enforcement

o Does the municipality engage in any fisheries enforcement activities. If so what sort of

enforcement assets are there ‐ number of people, boats, etc.?

o Are there any local citizen fisheries surveillance groups that monitor fishing activities or report illegal fishing to local authorities?

o How frequently are people arrested for fisheries violations and for what sort of violations?

o Do clan leaders ever sanction fishermen for violating rules?

‐ Impact (an assessment of the effectiveness of management and enforcement efforts).

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Other

 Ever heard of issues with toxic dumping of wastes in Somali waters by foreign boats?

 Have there been reports or have you seen in your area, mass fish kills – dead fish washing up on the beaches? If yes, why do you think that is?

 Any concerns about habitat destruction (e.g. mangroves being cut for charcoal production and exported to GCC states?

 Other development issues in your area?

 Any ongoing related donor assistance or development projects on fisheries or in fishing communities in your area?

Commercial Landing Sites: For commercial landing sites additional types of information must also be collected from key informants Generally commercial landing sites are defined as larger scale port facilities where fish moves into processing plants or cold storage facilities for larger scale distribution nationally or for export site for Somali owned commercial or industrial vessels or licensed foreign vessels.

 Are any foreign vessels landing in your port, are they registered or licensed to fish in Somali Waters

 Are there observers aboard foreign vessels landing in your port?  Are there observers on board Somali registered vessels?

 Do these vessels report catch? By volume and where landed? Traceability requirements?  Are landings per vessels and for port as a whole monitored?

Sanctioning (for foreign and local industrial vessels):

 Do they pay “fees” to anyone (e.g. pirates) or required to take on board security guards?  Do Somalia authorities, formal or traditional, ever sanction (penalties, fines, boat confiscated)

them? Who? How? Frequency?

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Survey Identification NUMBER_______ (NUMBER)

INTERVIEWER__________________________ (INTERVIEWER) Date___________ Time_______ Town/Village_____________ (LOCATION)

Regional administrative unit: (1)Somaliland (2)Puntland (3)Galmudug (4)Jubaaland (POLITUNIT)

I for ed o se t state e t

Trans‐Africa Consultant Services has been contracted by Adeso, a Regional Non‐governmental Organization with

humanitarian assistance initiatives in Somalia, to conduct a baseline survey of fishing activities in Somalis. We would like you to participate in this study by answering a number of questions concerning fishing practices in community. The survey should take about 30 minutes. Participation is voluntary. All your responses will be treated with strict

confidentiality and will be used for research purposes only. Your individual responses will not be revealed in any way. Only average responses will be reported. Your identity will not. The responses will be anonymous. If at any time you are not comfortable answering any questions, you can refuse to answer or decide to stop the interview altogether. If you have any complaints, you can call Kifle Hagos of TACS in the USA at +1‐401‐837‐3419 or Abdi Mohammed Dahir, the Adeso supervisor, at +252‐9077‐97‐305. (Hand out a card with these contact details to respondents that agree to be interviewed.) Can I interview you? (If respondent says yes – interview, if no, go to next household)

Ge eral I for atio a out the i ter ie ee a d fishi g a ti ities

First we would like to ask you about your fishing background and your household.

1. How long have you been a fisherman? ______ (FISHYEARS) (If female head of fishing household, how long involved in processing marketing fish)

How long have you lived in this town? _______ (RESIDENTYEARS)

2. How old are you? Years _____ (AGE)

3. Do you own a boat for fishing? Yes (1) No(0) (OWNER) Vessel Type used for fishing_________________ (BOATTYPE)

Length__________ meters (LENGTH)

Is the boat: (1)non‐motorized/ paddle/oar (2)motorized (3) sail (ENGINE)

What fishing gear do you use with the boat?

GType 1_______________ GType 2_____________ GType 3______________ (GEARTYPE 1,2,3) 4. Position on the boat? (1)Captain (2)Crew (3)Other (identify) ___________ (POSITION)

Member of fishing cooperative or association? (1)Yes (0)No (COOP)

5. Was fishing a primary or secondary source of income for your household during the last 12 months?

(1)Primary (2)Secondary (FISHINCOME)

6. About how many days did you spend fishing during the last 12 months? _____days (DAYSFISHING)

7. Where do you fish in relation to your village? Check all that apply (FISHWHERE) (1) Always within close proximity, less than 10km from the village

(2) As far as 50km offshore

(3) I migrate along the coast seasonally as the fish move

8. What month is the fish catch usually the highest?_______________ (SEASONHIGH)

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Which do you eat more of? (1)Fish (2)Other sources of protein such as beef, goat, chicken (NUTRIFISH)

(If some is sold) Where do you sell your fish?

(1)In the community (2)Markets outside the community (3)Boats at sea (WHERESELL)

The price I get for my fish over the past five years has:

(1)increased (0)not changed at all (‐1)decreased (PRICE)

11. What are the 5 main types of fish you caught during the past year?

Please mention in order of importance, most important, second in importance, etc. (FISHTYPE 1,2,3,4,5)

TYP1_____________ TYP2_________________ TYP3 _____________ TYP4________________ TYP5_____________

12. Total years of formal education _____ (YEARSEDU)

13. Number of people in your household______ (HOUSESIZE)

14: Gender: (1)Male (2)Female (GENDER)

U Reported fisheries

Are you required to report landings from your fishing trips to any authorities? Yes(1) No(0) (REPORT)

If Y, to who? (1)government official (2)clan or local leader

(3)Other__________ (REPORTWHO)

If N, Were you required to report in the past? Yes(1) No(0) (REPORTPAST)

If Y, How long ago?____ (REPORTWHEN) Does anyone record fish landings and type of fish caught at your landing site? Yes(1) No(0) (RECORDFISH)

If Y, who? _________________ (RECORDWHO)

If N, Was anyone collecting landings data in the past? Yes(1) No(0) Don’t know(9) (RECORDPAST)

If Y, How long ago ______ (RECORDWHEN)

U Regulated Fisheries

Are you required to register your fishing vessel with authorities? Yes(1) No(2) Don’t know(9) (BOATREGREQ)

Must the registration number be painted on the boat? Yes(1) No(2) Don’t know(9) (BOATREGNUM)

If yes, approximately how many boats in your community are registered with painted numbers?

(1)None (2)Few (3)About one‐half (4)Most (5)All (BOATREGCOM)

Register the boat with who?

(1)Fisheries Agency (2)Maritime or Ports authority (3)Other_____________ (BOATREGWHO)

Are you required to pay a fee? Yes(1) No(0) Don’t know(9) (BOATREGFEE)

If Yes, amount? _____ (BOATREGAMT)

Are there limits on the number of licenses allowed? Yes(1) No(0) Don’t know(9) (BOATLIMIT)

Are there restrictions on who is allowed to fish in your area? Yes(1) No(0) Don’t know(9) (RESTRICT)

If yes, Who?______________________ (RESTRICTWHO)

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Are you required to pay anyone a fee or tax for amount fish landed? Yes(1) No(0) (FISHFEE)

Amount______ (FISHFEEAMT)

per ___(box or Kg?) (FISHFEEUNIT)

Do you have to provide a share of landed fish to a local leader? Yes(1) No(0) (FISHSHARE)

If yes, Explain the rule/system: ____________________________________________________________ _____________________________________________________________________________________

(8)Russian (9) Other_____________ (10) Don’t Know

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Was the boat ever returned? Yes(1) No(2) (BOATRETURN)

Did you have to pay money to have your boat returned? Yes(1) No(0) (BOATFINE)

If Yes, how much? ________ (FINEAMOUNT)

I pa ts

The following statements will be read to you and you will be asked whether you agree or disagree or neither, and then whether you agree or disagree Strongly or just Somewhat

Foreign fishing vessels should be allowed to fish in Somali waters. (FOROK) Strongly disagree (1) Somewhat Disagree (2) Neither (3) Somewhat Agree (4) Strongly agree (5)

Anti‐piracy patrols by Foreign Navies protect foreign fishing vessels operating illegally in Somali waters (PIRACYPATROL)

Strongly disagree (1) Somewhat Disagree (2) Neither (3) Somewhat Agree (4) Strongly agree (5)

Illegal fishing negatively impacts my livelihood. (IUULIVE))

Illegal fishing has no impact on marine ecosystems. (IUUIMPACT)

Foreign fishing has no impact on my fish catch (FORIMPACT)

Piracy does not restrict me from fishing from where I want to fish. (PIRACYIMPACT)

Piracy keeps away illegal foreign fishers. (PIRACYIUU)

Anti‐piracy actions by foreign Navies negatively impacts my fishing livelihood (ANTIPIRACY)

Over the past year, have there been instances of large quantities of dead fish washing

up on the beaches of your village? Yes(1) No(0) (FISHKILL)

If Yes, How often has this occurred over the past year? ___ times (KILLFREQ)

What do you think is causing this problem (KILLREASON)

E for e e t

Who enforces the fishing regulations? Circle all that apply (ENFORCEWHO1,2,3) 1= Federal Fisheries agency

2 Regional autonomous fisheries agency 3= Police

4= Navy

5= foreign Navies

6= local clans

7= local fishers themselves 8= other_____________ 0= no response or don’t know

I will read you a statement, then I will give you five choices of answers. Select one. We see the enforcers patrolling in our waters:

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I will read you a statement and ask you to Agree, Disagree or say if you are Undecided, then, if you agree or disagree, I

Fishing rules help preserve and protect fisheries

resources

1

2

3

4

5

Fishing rules are enforced differently depending on your

social status

1

2

3

4

5

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The following statements will be read to you. Choose one of several responses that best describe your situation My fish catch over the past five years has Increased(1) not changed at all (0) reduced (‐1) (CATCHCHANGE)

My income over the last five years has Increased(1) not changed at all (0) reduced (‐1) (INCCHANGE)

Peace and Order in my community has Increased(1) not changed at all (0) reduced (‐1) (PEACE)

Development of our village has Increased(1) not changed at all (0) reduced (‐1) (DEVELOP) If there have been changes in any of the above, can you explain why?

___________________________________________________________________________________________

Do you agree or disagree with the following statements concerning fishing in your community: There is a lack of capital for investing in improved fishing gears and boats

disagree (‐1) Neither (0) agree (1) (CAPITAL)

There is adequate transportation to get my fish to good markets

disagree (‐1) Neither (0) agree (1) (TRANSPORT)

Fish spoils as it is not adequately processed or preserved

disagree (‐1) Neither (0) agree (1) (SPOIL)

There are too many fishermen in my community are trying to catch fish

disagree (‐1) Neither (0) agree (1) (TOOMANY)

There are not too many Somalis from outside my community coming in to catch fish here

disagree (‐1) Neither (0) agree (1) (MANYOUT)

Foreign fishing vessels fishing nearby are taking all the fish

disagree (‐1) Neither (0) agree (1) (FORNEAR)

There are still plenty of fish left in the sea to catch

disagree (‐1) Neither (0) agree (1) (NOFISH)

Fishermen are leaving my village as they can no longer make a living from the sea disagree (‐1) Neither (0) agree (1) (MENLEAVE)

Waste dumped from foreign boats at sea is not harming the fish and environment

disagree (‐1) Neither (0) agree (1) (WASTE)

No one is in charge of management of the fish resources in my community

disagree (‐1) Neither (0) agree (1) (NOMGT)

We are successfully enforcing Somali laws regarding fishing

disagree (‐1) Neither (0) agree (1) (NOENF

There is a lack of alternative income or employment for my family other than fishing disagree (‐1) Neither (0) agree (1) (LACKALT)

There are adequate water supply and toilet facilities in the community

disagree (‐1) Neither (0) agree (1) (WATER)

I would like my sons to become fishermen like me

disagree (‐1) Neither (0) agree (1) (SONS)

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ANNEX 4: Data Codebook for the Survey Questionnaire

Instructions for coding data into an Excel file and a listing of all codes for all variables

NUMBER – enter survey number. They should be given sequential numbers and no two surveys should have the same number

INTERVIEWER – Enter number for the name of interviewer (not the person you are interviewing): 1= _____________ 2= ________________ 3= _______________ 4= ________________ 5= _____________ 6= ________________ 7= _______________ 8= ________________ LOCATION – Enter Name of Village/Landing site

1= _____________ 2= _______ _________ 3= _______________ 4= ________________ 5= _____________ 6= ________________ 7= _______________ 8= ________________ 9= _____________ 10 = _______________

POLITUNIT – Regional Govt. units. Code as follows

1=Somaliland 2=Puntland 3=Galmudug 4=Jubaaland

Ge eral I for atio a out the i ter ie ee a d fishi g a ti ities

1. FISHERYEARS – enter years person has been a fishermen

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4. POSITION Code: 1= Capital 2 = Crew 3 = Other A (identify________________)

5. FISHINCOME Fishing as primary income source….code : (1)Primary (2)Secondary

6. DAYSFISHING Enter number of days fishing in the last 12 months

7. FISHWHERE Where do you fish in relation to your village? Code as follows: 1 = Always within close proximity, less than 10km from the village 2 = As far as 50km offshore

3 = I migrate along the coast seasonally as the fish move

8. SEASONHIGH Enter the month with the highest fish catch e.g. January = 1.. June = 6…December = 12

9. SEASONLOW Enter the month with the lowest fish catch e.g. January = 1..June = 6…December = 12

10. AVGCATCH Catch per day (kg) Enter weight in kgs

AVGINCOME Average income per day Enter income in Somali Shillings

SUBSIST ‐ How much home consumption? Enter % that is subsistence

NUTRIFISH Code ‐ (1)Fish (2)Other sources of protein such as beef, goat, chicken

WHERESELL – Fish sold– code: (1)In the community (2)Markets outside community (3)Boats at sea

PRICE ‐ Price of fish , Code: (1)increased (0)not changed at all (‐1)decreased

11. FISHTYPE1 Code first fish listed) as below. This list should be developed from Key Informant interviews (see Annex 2) and updated as new fish species are named

1= tunas 2= sharks

3= other large pelagics (swordfish, marlins)

4= small pelagics (including anchovy, sardinellas, herrings, etc.) 5=shrimp/prawn

6= lobster

7= demersal (other than lobster or prawns) (including grouper, red snapper) 8=coral reef fish ( e.g. parrotfish, siganids, etc.)

9=Other ____________________ Etc…..

FISHTYPE2, FISHTYPE3, FISHTYPE4, FISHTYPE5 – Code as above in order as listed in the form

12. YEARSEDU Enter total years of formal education 0‐ 20

13. HOUSESIZE Enter total number of people living in the household ‐ adults and children, relatives, etc.

14: GENDER Male =1 Female = 2

U Reported fisheries

REPORT required to report landings? Y= 1 N= 0 don’t know = 9

REPORTWHO if yes, who 1= government official 2 =clan/local leader 3= Other_______ 4=Other_______

REPORTPAST if N, required in past? Y= 1 No= 0 don’t know = 9

REPORTWHEN if reported in the past, enter number of years ago it was required

RECORDFISH does anyone in the community record fish landings Y= 1 N= 0 don’t know = 9

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2= Local government official 3= clan representative 4= processing plant officer 5= other _____________

RECORDPAST collecting data in past? Yes= 1 No= 0 Don’t know = 9

RECORDWHEN if Y, enter numbers of years ago when landings data was recorded

U Regulated Fisheries

BOATREGREQ required to register your fishing vessel? Y=1 N= 0 Don’t know = 9

BOATREGNUM must the registration number be painted on the boat? Y=1 N= 0 Don’t know = 9

BOATREGCOM boats in community registered 1=None 2=Few 3= About one‐half 4= Most 5= All

BOATREGWHO who registers boats 1= Fisheries Agency

2= Maritime or Ports authority 3= Other _____________ 9= don’t know

BOATREGFEE required to pay a fee? Y= 1 N= 0 Don’t know = 9

BOATREGAMT if Yes, Enter amount paid in local currency

BOATLIMITS limits on the number of licenses Y= 1 N= 0 Don’t know = 9

RESTRICT restrictions on who is allowed to fish Y= 1 N= 0 Don’t know = 9

RESTRICTWHO if yes, Who?

1= Local villagers only 2= Somalis only 3= Other _____________ 4= Other ____________

REGISTER required to register as a fishermen Y= 1 N= 0 Don’t know = 9

REGWHO register with who

1= Fisheries Agency 2= Maritime or Ports authority 3= Other __________ 4= Other __________

REGFEE required to pay a fee? Y= 1 N= 0 don’t know = 9

REGAMT if Yes, enter amount in local currency

FISHFEE required to pay anyone a fee or tax for amount fish landed? Y= 1 N= 0 Don’t know = 9

FISHFEEAMT enter amount in local currency

FISHFEEUNIT if by box enter approximate weight per box, if by Kg enter 1

FISHSHARE provide a share of landed fish to a local leader Y= 1 N= 0 don’t know = 9

Fish Share system explained ‐ do not code in the excel spread sheet. Share systems should be written up in text by the supervising field officer and noted which villages where it applies

Regulation Types

FISHREGS Is fishing in your area restricted Code: Y= 1 N= 0 don’t know = 9

REGTYPE1 type of restriction or regulations are there? First response, code as follows: 1=Prohibition on type of fish caught

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4=Closed season

5=Permanent closed area 6=Seasonal closed area 7=Daily landing quota/limit 8=Annual landing quota/limit

9=Fishing rights for only some people 10=Other____________________

REGTYPE2, REGTYPE3, REGTPE 4 ….– Code second, third response, etc. same as above

PENALTY Are there penalties for violating the rules? Code: Y= 1 N= 0 don’t know = 9

PENALTYPE 1 If Yes, what type? First response, code as follows: 1=Fines

2= Jail time

3=Confiscation of Gear 4=Confiscation of Boat 5= Other

PENALTYPE2. PENALTYPE3..etc Code second, third response, etc. same as above

Illegal Fishi g

FORFISH foreign fishing vessels near your village? Y = 1 N = 0 Don’t know = 9

FORFREQ how frequently does this occur? Code as follows:

All the time (5) Frequently (4) Some of the time (3) Rarely (2) Never (1) FORPAST 5 years ago? Code as follows:

All the time (5) Frequently (4) Some of the time (3) Rarely (2) Never (1) FORPERMIT do they have permits to fish here? Y = 1 N = 0 Don’t know = 9

WHOILLEGAL does the illegal fishing? CODE: 1= Somalis, 2= Foreign vessels 3=Both

FORWHO If foreigners, which countries do it? Code as below:

(1)Yemen (2)Iran (3)Spain (4)China/Taiwan (5) Oman (6)India (7)Kenyan

(8)Russian (9) Other_____________ (10) Don’t Know

FORWHERE How close do they come to shore? Code as below:

1= very close ‐ within 5 km, 2= 5‐50km from shore, 3= very far offshore 4 = everywhere

FOROK Foreign fishing should be allowed. Code as follows:

PIRACYPATROL anti‐piracy patrols by Foreign Navies. Code as follows

FISHFINE fishing vessel taken or confiscated for any reason? Y= 1 N= 0

FINEWHY Do not code . Supervising field officer should summarize descriptions of reasons stated

FINEWHO Code by generic categories of groups or by their official institutional names 1= National Fisheries agency________________

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5 = Navy

6= Other _____________________________________________________________

BOATRETURN Was the boat ever returned? Y= 1 N = 0

PAYFINE pay money to have your boat returned? Y= 1 N= 0

FINEAMOUNT Enter amount paid in local currency

I pa ts

IUULIVE Illegal fishing impacts my livelihood.

Strongly disagree (1) Disagree (2) Neither (3) Agree (4) Strongly agree (5) IUUIMPACT Illegal fishing has no impact on marine ecosystems.

Strongly disagree (5) Disagree (4) Neither (3) Agree (2) Strongly agree (1) FORIMPACT Foreign fishing has no impact on my fish catch

PIRACYIMPACT Piracy does not restrict me from fishing from where I want to fish. Strongly disagree (5) Disagree (4) Neither (3) Agree (2) Strongly agree (1) PIRACYIUU Piracy keeps away illegal foreign fishers.

Strongly disagree (1) Disagree (2) Neither (3) Agree (4) Strongly agree (5)

ANITPIRACY Antipiracy actions impacts my livelihood Code as follows:

FISHKILL large quantities of dead fish on the beaches? Code Y=1 No=0

KILLFREQ How often has this occurred? Enter the actual number of times, if never, enter 0

KILLREASON What do you think is causing this problem. Do not code. Field Supervisor to summarize responses and include in the village rapid assessment report.

E for e e t

ENFORCEWHO1 who enforces the fishing regulations? First response entered here 1= Federal Fisheries agency

2 = Regional Autonomous fisheries agency 3= Police

4= Navy

5= foreign Navies 6= local clans

7= local fishers themselves 8= other_____________ 0= no response or don’t know

ENFORCEWHO2 enter second response as coded above

ENFORCEWHO3 enter third response as coded above

ENFORCEWHO 4 enter forth response as coded above

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(36)

Deter i a ts of Co plia e

LEGIT5 Fishing rules are enforced differently

depending on your social status

1

2

3

4

5

reduce their illegal fishing activities

SOM14 desginmethod.

Design

and

Methodology

for

the

Survey

of

Somalia

Fishing

Communities

Concerning

IUU

Fishing

June,

2014

Brian

Crawford,

CRC/URI

Richard

Pollnac,

URI

Kifle

Hagos,

TACS

Prepared

by:

TRANS

‐

AFRICA

CONSULTANCY

SERVICES

LLC

104

Roffee

Street,

Barrington

RI

02806

Phone:

+1

401

289

0113;

E

‐

Mail:

khagos_8793@hotmail.com

For:

ADESO

African

Development

Solutions

P.O.

Box

70331

‐

00400

Nairobi,

Kenya

M:

+(254)

710

607

378

T:

+(254)

20

800

0881

info@adesoafrica.org

Table

of

Contents

1.

Introduction

4.

The

Individual

Survey